Our Staff has compiled our research into a database of FINRA Broker Disclosures for Transamerica Financial Advisors, Inc. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Donna F Burke | 5524446 | 5 | 11/05/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis P Tom | 1368134 | 5 | 09/30/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carlos Bruner | 5637623 | 3 | 09/15/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 08/21/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Charles Farmer | 1968975 | 7 | 07/27/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jesus Maymi | 2502999 | 6 | 05/18/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Paladio Cordero | 2209950 | 3 | 11/12/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Claire van Niekerken Fernandez | 1390207 | 2 | 07/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Claire van Niekerken Fernandez | 1390207 | 2 | 05/01/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hiep Phuoc Nguyen | 2704211 | 1 | 04/14/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |